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AML Senior Investigator
TradeStation
2021-12-03 07:42:37
Fort Lauderdale,
Florida,
United States
Job type: fulltime
Job industry: Banking & Financial Services
Job description
AML Senior Investigator
Plantation, FL or Chicago, IL
#WeAreTradeStation TradeStation is an on-line brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. We have built a team of amazing people who work together in a high-performance culture to provide our clients with exceptional products and services. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
We are currently seeking an AML Senior Investigator who will serve as a team member in TradeStation Securities, Inc.'s ("TradeStation Securities") Anti-Money Laundering ("AML") Group, with an emphasis on transaction monitoring, trade surveillance and financial crimes investigations. Candidate will be responsible for identifying and investigating suspicious activity in support and fulfillment of Anti-Money-Laundering/Bank Secrecy Act (AML/BSA) regulatory requirements. Candidate will analyze customer account transactions to detect suspicious activity and decide on appropriate actions; evaluate and analyze information uncovered during investigations and make appropriate recommendations regarding the filing of Suspicious Activity Reports (SAR); and serve as a subject-matter-expert and assist less experienced team members.
ESSENTIAL JOB FUNCTIONS:
- Analyze customer account transactions and trading activity to detect suspicious activity and decides on appropriate action. Works cooperatively with internal departments and other financial institutions to obtain and analyze necessary information related to investigations
- Work cooperatively with local, state, or federal authorities to investigate suspicious account activity. Analyzes investigation results to determine need for SAR filing with the Federal Government
- Work cooperatively with various business lines to establish procedures for identifying suspicious customer transactions specific to money laundering, including the proper method for escalating such activity to the anti-money-laundering group
- File Suspicious Activity Reports ("SARs") and assist with No-SAR decisions
- Assist with ensuring quality control standards and technical aspects of SAR filings are compliant with regulatory guidelines
- Prepare investigative reports for management
- Assist with departmental tracking and reporting
- Ensure the monitoring system software systems capture all investigations accurately
- Assist in the implementation of AML/BSA detection and prevention methods, such as training and instruction manuals
- Provide needed support for special projects or critical casework as requested
- Exercise sound judgment and observes the highest degree of confidentiality in the handling of information received in the course responsibilities
- Actively participate in required corporate and business line AML/BSA and other related training
- Perform other related duties as required
KNOWLEDGE, SKILLS & ABILITIES:
- Knowledge of BSA/AML/OFAC/KYC laws
- Experience with AML and Financial Crimes investigations
- Considerable experience drafting SAR narratives and reports
- Knowledge of transaction monitoring solutions (Actimize experience a plus)
- Experience with blockchain analysis and forensics(preferred)
- Proficient in MS Word, Excel & Outlook
- Strong interpersonal, analytical, writing and communication skills
- Self-motivated, dependable, adaptable, and detailed-oriented
EDUCATION & EXPERIENCE:
- 5-7 years' relevant work experience
- Brokerage experience and/or Crypto exchange/OTC desk experience
- Series 3, 7, and 24 licenses (preferred)